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Registration History
19952000200520102015202020252 FIRMS2016 - 2019 (3 years)2 FIRMS2019 - Present (5 years)BNORTHLAND SECURITIES, INC. (CRD# 40258)2013 - 2015 (2 years)BC & CO/PRINCERIDGE GROUP LLC (CRD# 149758)2012 - 2013 (<1 year)BRODMAN & RENSHAW, LLC (CRD# 16415)2011 - 2012 (<1 year)BCARIS & COMPANY, INC. (CRD# 104235)2007 - 2011 (4 years)BKAUFMAN BROS., L.P. (CRD# 37909)2003 - 2007 (3 years)BC.E. UNTERBERG, TOWBIN (A CALI... (CRD# 24790)1999 - 2003 (3 years)BKAUFMAN BROS., L.P. (CRD# 37909)1995 - 1999 (3 years)BSOUNDVIEW FINANCIAL GROUP, INC. (CRD# 15425)1994 - 1994 (<1 year)
Disclosure(s)
View By:
12/30/2024
Customer Dispute
Pending
License(s)

State Registrations

B
California

B
New Jersey

B
Connecticut

B
New York

IA
Connecticut

IA
New York

B
Delaware

B
North Carolina

B
District of Columbia

B
Pennsylvania

B
Florida

B
Texas

B
Georgia

IA
Texas

B
Idaho

B
Utah

B
Illinois

B
Virginia

B
Massachusetts

B
Washington

SRO Registrations

B
FINRA

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
450 POST ROAD E, WESTPORT, CT 06880
Registered with this firm since 3/15/2019

IA
WELLS FARGO ADVISORS (CRD#:19616)
450 POST ROAD E, WESTPORT, CT 06880
NEW ROCHELLE, NY
Registered with this firm since 3/15/2019

Previous Registration(s)
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IA
02/23/2016 - 03/06/2019 MORGAN STANLEY (CRD#:149777) GREENWICH, CT
B
02/10/2016 - 03/06/2019 MORGAN STANLEY (CRD#:149777) GREENWICH, CT
B
01/02/2013 - 12/22/2015 NORTHLAND SECURITIES, INC. (CRD#:40258) NEW YORK, NY
B
11/14/2012 - 01/02/2013 C & CO/PRINCERIDGE GROUP LLC (CRD#:149758) NEW YORK, NY
B
09/06/2011 - 06/29/2012 RODMAN & RENSHAW, LLC (CRD#:16415) NEW YORK, NY
B
01/03/2007 - 08/25/2011 CARIS & COMPANY, INC. (CRD#:104235) NEW YORK, NY
B
06/13/2003 - 01/04/2007 KAUFMAN BROS., L.P. (CRD#:37909) NEW YORK, NY
B
07/23/1999 - 05/30/2003 C.E. UNTERBERG, TOWBIN (A CALIFORNIA LIMITED PARTNERSHIP) (CRD#:24790) NEW YORK, NY
B
07/05/1995 - 05/18/1999 KAUFMAN BROS., L.P. (CRD#:37909) NEW YORK, NY
B
03/28/1994 - 12/12/1994 SOUNDVIEW FINANCIAL GROUP, INC. (CRD#:15425) OLD GREENWICH, CT
Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information.

Click here for more information about how to check on an investment professional.

B
Broker

A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both.
Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.

IA
Investment Adviser

An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
It is common for a financial professional to act as both a broker and an investment adviser. Because of this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser Public Disclosure (IAPD) website so you can research further.

PR
Previously Registered

A Previously Registered broker or brokerage firm is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). They may still be able to offer other investment-related services if properly licensed to do so. Click here to learn more.

Disclosures

Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.

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